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Osaic Institutions, Inc. CRD 35371
$6.49B regulatory AUM 7 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
538 Preston Avenue, Meriden, CT 06450-4858 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2024-07-24 |
Branch Locations
7600 E. Doubletree Ranch Rd. Suite 100, Scottsdale, AZ 85258 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Scottsdale | AZ | 03/2014 | 06/2023 |
| Osaic Institutions, Inc. | Meriden | CT | 06/2024 | Present |
| Finemark Bank | Scottsdale | AZ | 06/2023 | Present |
1.) Real Estate Ownership; Single Family; Happy Jack, AZ 86024; Not Investment Related; October 2021.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-06-06 |
| S63 | Uniform Securities Agent State Law Examination | 2011-11-11 |
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